Report - A Performance Audit of Public Education Employees' Criminal Background Check

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• Publié par: Novig
• Nombre de lectures: 9
• Langue: English

Extrait

Office of the
LEGISLATIVE AUDITOR GENERAL
State of Utah


REPORT NUMBER 2009-08
April 2009



A Performance Audit of Public
Education Employees’ Criminal
Background Check Procedures


Our review of the criminal background checks of public education
employees was concerning because we found numerous criminal
convictions. For purposes of clarification throughout this report,
public education employees are divided into two distinct groups,
licensed educators (teachers, guidance counselors, psychologists, etc.)
and classified/nonlicensed employees (custodians, teachers’ aides,
lunch workers, etc.). In our opinion, the current system for detecting
and identifying the criminal histories of individuals employed in public
schools is flawed and ineffective. Specifically, we found the following:
A review of criminal
background checks of
• A sample of approximately 1,200 individuals identified 17 public education
current employees with concerning criminal convictions. employees found
numerous concerns. In Eleven employees had concerning criminal convictions prior to
our opinion, the current
being hired, and eight individuals had concerning criminal system for detecting
and identifying the convictions after being hired. However, two individuals had
criminal histories of concerning criminal convictions both before and after hiring.
individuals employed in
public schools is flawed
and ineffective. • We also reviewed the criminal histories of all educators who
had their educator licenses suspended for inappropriate
activities since 2004. At least four individuals with prior
Office of the Utah Legislative Auditor General 1
criminal convictions may have retained their licenses longer
than likely could have in other states. Because of criminal
convictions that may occur after an individual is hired, periodic
criminal background checks are needed for public education
employees.

• The statutorily defined process enacted in 1999, requiring the
Department of Public Safety (DPS) to maintain a database file
on public education employees and notify the Utah State Office
of Education (USOE) of any arrests, has never been developed
and, consequently, is not working. Statutes require this
database file to be funded by fees collected by the USOE, but
the USOE has never requested nor paid for this database file to
be developed.

• Most employees hired before 1994 who work in public schools
have not had a criminal background check because these
employees were only given background checks when reasonable
cause existed, as per statutory language.

• Statutes and rules governing disqualifying criminal convictions
are vague.

Our primary concern, as is the major concern of public education In spite of our small
sample, we found 17 officials, is the safety of the children in public schools. The fact that, in
current education spite of our small sample of 32 schools in 4 school districts, we found
employees with 17 current education employees (both licensed educators and concerning criminal
convictions who have classified/nonlicensed employees) with concerning criminal
access to children. convictions who have access to children, magnifies the issues presented
in this report.

Based on our findings regarding the criminal backgrounds of some
bus drivers in our 2008 Performance Audit of School Busing (2008
busing audit), the Legislative Audit Subcommittee approved and
prioritized this audit in January 2009. In the busing audit, we
reviewed the criminal histories of approximately 2,700 bus drivers and
found 13 bus drivers with concerning criminal histories. So in
comparison, the 2008 busing audit found that 0.5 percent of drivers
reviewed had concerning criminal convictions, but this audit found
that 1.4 percent, or 17 out of 1,200 public school employees, have
concerning criminal convictions. This percentage of 1.4 percent for
A Performance Audit of Public Education Employees Criminal Background Check Procedures (April 2009) 2
public school employees with concerning criminal convictions is
almost three times greater than what was found for bus drivers.


Criminal Background Checks of Public Education
Employees Present Significant Concerns

Our review of the criminal background checks of public education
employees found individuals with criminal convictions involving
sexual assault, indecent exposure, drugs, theft, and violence, as shown
in Figures 1 and 2 of this report. Because standards are vague
regarding criminal convictions which would prevent employment or
raise concerns, we looked at standards used in Utah and other states to
help develop policy recommendations, as will be discussed later in this
report. For purposes of clarification, we considered the following
convictions to be “concerning” in our findings: Because standards are
vague concerning
criminal convictions for • Convictions involving children
public education
• Convictions involving sexually related crimes employees, we looked
at Utah’s statutes and • Crimes that resulted in felony convictions
statutes used in other • Convictions involving alcohol or drugs
states to develop a list
• Convictions involving violence of “concerning”
criminal convictions. • Multiple arrests and/or convictions, suggesting a pattern of
criminal behavior.

We sampled employees from Jordan, Davis, Granite, and Salt Lake
City school districts. From those four school districts, we sampled two
high schools, two middle schools, and four elementary schools in each
school district. From each school sampled, we requested pertinent
information in order to run criminal background checks for the
following sampled education employees (both licensed educators and
classified/nonlicensed employees) who have access to children:

Licensed Educators Classified/Nonlicensed Employees

• Teachers • Custodians
• Guidance counselors • Paid teachers’ aides
• Social workers • Secretaries
• Psychologists • Lunch workers

Office of the Utah Legislative Auditor General 3
Note that the State Board of Education has authority over licensure
for licensed educators. However, the hiring and termination of
classified/nonlicensed employees is determined locally.

For purposes of this audit, DPS agreed to run background checks
on about 1,200 names. We eliminated the most recently hired
individuals based on the assumption that these employees had a more
recent background check than other employees and thus presented less
of a risk. More information pertaining to our sample can be found in
the appendix of this report.

Of the 1,209 current employees sampled, 49 employees or
4.1 percent, were found to have criminal histories. Of the 49
employees found to have criminal histories, 17 of these employees’
criminal histories were found to be concerning, according to our
earlier definition. Figure 1 identifies 11 of these individuals that had
concerning criminal convictions prior to being hired while Figure 2
identifies six individuals who had concerning criminal convictions after
they were hired. As previously mentioned, Figure 2 also includes two
individuals who had criminal convictions both before and after hiring,
so these individuals are listed in both Figures 1 and 2.

From this sample, we found that school districts have hired
employees with criminal convictions that are concerning. We also
found that periodic criminal background checks are needed and that
statutes enacted in 1999 requiring the development of a database file
for purposes of monitoring public education employees have never
been developed.

School Districts Have Hired Employees
With Concerning Criminal Convictions

Figure 1 illustrates current public school employees from our
sample who had concerning criminal convictions prior to being hired.
Figure 1 only lists the pre-employment criminal convictions that we
found concerning; Figure 2 illustrates the criminal convictions that
occurred after the individuals were hired. There are two individuals
listed in both Figures 1 and 2 because they had criminal convictions
both before and after hiring.


A Performance Audit of Public Education Employees Criminal Background Check Procedures (April 2009) 4
Figure 1. School Employees with Concerning Criminal Histories
Prior to School District Hiring. Our limited review found 11 of the
sampled employees had concerning criminal convictions prior to being
hired.

Teachers – Year of Convictions and
Licensed Employees Conviction Description
1 Teacher 1988 – Felony Sex Assault
2 r* 1980 – Indecent Exposure
3 Teacher 1979 – Aggravated Assault with Baseball Bat
Non-Teachers – Year of Convictions and
Classified Employees Conviction Description
From our sample of 4 Classified Employee** 1985 – Credit Card Fraud,
1,200 current education 1986 – Felony Forgery,
employees, we found 1989 – Theft,
that school districts 1991 – Theft,
have hired 11 1993 – Retail The